Consolidated audit trail would require exchanges and SROs to create a database to monitor and analyze trading activity
Approvals are another step in the establishment of a new U.S. regulatory regime for derivatives
Peter Madoff faces 10 years in prison
The increase in total settlements is entirely due to the rise in settlements with individuals
Broker allegedly relied on market forecasts that were based on lunar cycles, gravitational pull
U.S. exchanges required to set listing standards on pay committees
2011 was a record-setting year for the SEC’s enforcement division
The new “limit up-limit down mechanism” will replace the existing single-stock circuit breakers
SEC alleges material misrepresentations were made to investors amid the unregistered sale of interests in two resorts
Fraud fighting expels dormant shell companies